Our Quality Assurance
Requirements
G UIDANCE FO R CEN TRES
December 2012 Version 3
Contents
2
1 Introduction
4
2
Glossary
5
3
Code of Conduct for centres
8
4
Centre approval
9
5
Data requirements
14
6
Monitoring and evaluation
16
7
Issuing certificates
18
8
Assessments in a language other than English,
Welsh or Irish (Gaeilge)
19
9
Assessment methodology
20
10
Dealing with malpractice and maladministration
21
11
Post-approval monitoring criteria
22
Appendix 1
Assessment criteria
29
Appendix 2
Internal quality assurance criteria
31
Our quality assurance requirements
Document change history
Version
Changes made
Version 3
3 Addition to code of conduct to
ensure centres do not leave
Consultants alone or out of sight of
others during quality assurance visits
Date
changed
December
2012
4 Addition of common approval
criteria
10 Addition of the need for centres to
provide City & Guilds with access to
all information and data it requires in
order to resolve an allegation of
assessment malpractice
Removal of references to ILM as ILM
have a separate ILM Centre Manual
and Qualification Specifications
Our quality assurance requirements
3
1
Introduction
This document
This document encompasses the relevant requirements of the
following documents, which apply to all centres working with the
City & Guilds of London Institute:
 General Conditions of Recognition (November 2012)
 Regulatory Arrangements for the Qualifications and Credit
Framework (2008)
 SQA Awarding Body Criteria (2007)
 NVQ Code of Practice (2006)
Its purpose is to promote quality, consistency, accuracy and
fairness in the awarding of all our qualifications.
To achieve this you must adopt and implement the principles in this
document across all of your qualification provision. To make the
principles crystal clear this document:
 specifies the quality assurance and control requirements that
apply to all centres
 sets out the basis for securing high standards, for all our
qualifications.
For more information on QCF exemptions, please refer to the
Ofqual document entitled Exemptions in the Qualifications and
Credit Framework - June 2009
For clarity
In this document:
 the terms us, we and our mean the City and Guilds of
London Institute and
 you and your refer to your centre
 we use other similar terms as appropriate – for instance in
Section 3, they, them and their refer to, The Customer
Support Co-ordinator and/or allocated External Quality
Assurers - Consultants .
4
Our quality assurance requirements
2
Glossary
When we say…
Approval (centre)
Assessment
Assessor
Awarding Organisation
Centre
Consultant
Our quality assurance requirements
it means…
A process through which an
organisation wishing to offer
particular qualifications is
confirmed as being a centre and
able to maintain the required
quality and consistency of
assessment
The process through which
evidence of learners’
attainments is evaluated against
agreed criteria to provide the
evidence for a qualification
A person appointed by the
centre responsible for the
support and judgement of
learner performance against
defined standards expressed as
assessment criteria or mark
schemes
An organisation such as City &
Guilds that offers recognised
qualifications. Its main functions
are the design and development
of qualifications and the
operation of assessment and
quality assurance systems to
support the qualifications. An
awarding organisation issues
certificates or certificates of unit
credit to learners achieving the
requirements of a qualification
An organisation (such as a
school, college, training provider
or workplace) approved by an
awarding organisation for the
assessment arrangements
leading to a qualification
An External Quality Assurer
appointed by City & Guilds to
support, monitor and quality
assure the assessment process
5
External Quality Assurer
External Quality Assurance
Internal Quality Assurer
Moderation
National Occupational
Standards
Qualification
Customer Support Co-ordinator
Regulatory authority
6
Our quality assurance requirements
A Consultant appointed by City &
Guilds to support, monitor and
quality assure the assessment
process
The quality assurance procedure
to monitor assessment at the
centre (S/NVQs/VQs/QCF
qualifications). External quality
assurance includes inspection of
procedures and sampling of
assessments by the centre and
by a City & Guilds Consultant
The person appointed by the
centre to co-ordinate the
assessment process internally
The process of checking
assessors’ judgements of
learners’ competence with the
view to correcting them through
advice and instruction if the
assessment is not up to
standard. These checks are
carried out by both Internal
Quality Assurers and
Consultants. There is also
‘network moderating’ or
standardisation, by asking
participants to rate model
portfolios
The standards of occupational
competence developed by a
Standards Setting Body (SSB)
and approved by the regulatory
authorities
A certificate of achievement or
competence specifying awarding
organisation, qualification title,
credit (if appropriate) and level
Your local point of contact, for all
matters related to approvals and
external quality assurance
An organisation designated to
establish national standards for
qualifications and to secure
consistent compliance with
them, such as Ofqual, SQA,
DCELLS and CCEA
Standards
Tutors
Our quality assurance requirements
Standards of competence
statements and specifications
which are developed by a
Standards Setting Body (SSB).
These define what an individual
working in an occupational area
is expected to be able to do.
They are further specified in
terms of learning outcomes;
what they must do, what they
must cover and what they must
know
A person appointed by the
centre responsible for the
support and tuition of the
learner. The Tutor may also take
on the role of Assessor
7
3
Code of Conduct for centres
City & Guilds is committed to a vision and a set of values.
We adhere to these values in all our dealings with centres, and work
hard to achieve the service standards we have set for ourselves in
our Customer Service Statement.
With those standards in mind we expect our quality assurance
teams to:
 establish and maintain a professional working environment, built
on our values of courtesy and professional behaviour
 adhere to this code of conduct.
In return we expect you to:
 be courteous and professional in all communications
 apply this code of conduct in all your dealings with the
quality assurance teams, and allocated EQAs and:
o enable them to carry out their activities openly
and honestly
o provide timely evidence that will enable them to
report honestly, fairly and accurately on your
centre’s assessment and quality assurance
provision
o work with them to minimise disruption and
bureaucracy
o take all reasonable steps to ensure their health
and safety, while on your premises
o maintain positive relations and a purposeful
dialogue with them
o raise any concerns about their activity with them,
promptly and appropriately
o respect their right to observe practice and quality
assure assessment, and to talk to staff and
learners as and when they need to
o ensure Consultants are not left alone or out of
sight of others during quality assurance visits.
Where privacy is required, the door should be left
ajar having ensured that others have been
informed and are within earshot
This code of conduct must be adhered to and failure to follow it
may affect your Centre Monitoring Rating. There is more on this is
Section 11.
8
Our quality assurance requirements
4
Centre approval
Organisations that are not already approved to offer City & Guilds
qualifications must apply for centre and qualification approval at
the same time. These are the Centre Approval Criteria.
Criteria
Sources of evidence
City & Guilds
Centre
Approval
Application ref
The centre…
a) has a single
named centre
contact for
quality
assurance

A documented named 1.6, 9
point of accountability
for (and/or
management of)
quality assurance,
with contact details
b) can hold and
securely
transmit details
of assessment
outcomes

5.3
Documented
procedures to ensure
security when sending
and receiving details
of results to the City &
Guilds
Our quality assurance requirements
9
c) has the staff,
resources and
systems needed
to support:
 the
assessment
of units
 the award,
accumulation
and transfer
of credits
 where
necessary,
the recording
of
exemptions









d) has
arrangements in
place to obtain a
Unique Learner
Number (ULN),
Scottish
Candidate
Number (SCN)
and a learner
record if
required to do
so
10

Our quality assurance requirements
6.3 - 6.7, 6.9,
Documented quality
assurance procedures 6.12-6.13, 7.2
An organisational
chart
Up to date CVs,
original certificates of
the
assessment/delivery
team
Documented
procedures for
registering learners
within 12 weeks
Learner tracking
documentation
Procedures for
recording exemptions,
appeals, complaints,
malpractice,
maladministration,
reason adjustments,
special considerations
and plagiarism
Induction plans
An Equal
Opportunities policy,
and procedures
A Health & Safety
policy, and
procedures
Documented
procedures in place
for obtaining ULN/SCN
7.3
e) has
 Documented
arrangements in
procedures for
place to access
accessing learner
learner records
records
and ascertain
previous
achievements, to
maximise
opportunities for
credit transfer/
exemption
7.4
f) has
administrative
systems in place
to track the
learner’s
progress

Records of learner
tracking systems
 Assessment records
 Individual Learning
Plans (ILP)
6.1, 6.2, 7.1
g) has
arrangements in
place that allow
for the
Recognition of
Prior Learning
(RPL)

Records of initial
assessment
procedures
 Learner induction
 Individual Learning
Plans (ILP)
7.5
h) documents the
respective roles
and
responsibilities
of any
partnership
arrangements

Partner contracts and
service agreements
 Recorded agreements
for roles and
responsibilities
2.2, 2.3, 6.8
i) agrees to give us  Completion and signaccess to
off of the Centre
premises,
Approval Application
people and
(CAP) declaration
records, and to
cooperate with
any of the
allocated
activities that
are identified
through the
centre approval
process
Our quality assurance requirements
9
11
j) declares any
 Sign-off of Centre
withdrawn
Approval Application
centre or
(CAP) declaration
qualification
approvals from
the City & Guilds
or ILM and other
Awarding
Organisations.
The centre
contact declares
if they have
been a director
or centre contact
for any centre
that has had any
approval
removed
12
Our quality assurance requirements
9
Centre approval
In the past City & Guilds has followed the JCQ Pledge 4 in reducing
bureaucracy – common centre/qualification approval, but there
were still a number of factors that restricted centres in moving over
to us such as we only accepted specific Awarding Organisations
and we only allowed registration for the qualifications that the
centres were seeking to move. City & Guilds continue to find ways
of making it easier to work with us, so have decided that we will
accept approvals from all Awarding Organisations and that we will
allow Direct Claim Status if centres currently have this.
We are prepared to approve centres to direct claim status
provided:
 That they supply a completed copy of Form QAP
 That they provide two positive EV reports (one within the
last six months)
 That the centre obtains a letter from the original Awarding
Organisation confirming that direct claim status applies to
the qualification at the time that it is being transferred – this
only applies to centres seeking direct claim status
The centre will then receive a Qualification Consultant visit within
three months of approval, so that direct claim status can be
reviewed.
Our quality assurance requirements
13
5
Data requirements
You have to collect and retain a range of accurate, up to date and
relevant information, and provide it when we ask for it. These are
the specifics.
a) You must set up and maintain reliable, auditable quality
assurance systems for documenting and recording assessment
decisions.
b) You must keep adequate records to track learner progress and
allow for the independent authentication of certification claims,
and these records must include the following:1. A list of all learners registered for each qualification offered,
including:
i.
the learner’s name, date of birth and contact address
ii.
their workplace address and details (where
applicable)
iii. their starting date at the centre
iv. their date of registration with the awarding
organisation
v.
their learner registration number
vi. their Unique Learner Number/Scottish Candidate
Number (if applicable)
vi. the Assessors’ and tutors’ names
vii. the Internal Quality Assurer’s name (or names).
2. Learner assessment records detailing:
i.
who assessed what and when
ii.
the assessment decision for each unit
iii. the assessment methods used for each unit
iv. the location and storage location of the supporting
evidence.
3. Records of internal quality assurance activity detailing:
i.
who quality assured what and when
ii.
the sample selected and the rationale for choosing
that sample
iii. the sampling strategy
iv. Internal Quality Assurer standardisation meetings,
along with any evidence of internal updating
v.
14
Assessor support meetings
Our quality assurance requirements
vi. Assessor and Internal Quality Assurer competence,
including copies of certificates, CVs and records of
their continuing professional development and their
monitored progress towards required qualifications
vii. records of certificates claimed – who claimed them
and when
viii. records of appeals – who appealed, about what,
when, and the outcome
ix. records of complaints – who complained, about
what, when, and the outcome
c) You must keep these records as soon as a learner is registered
and then for a minimum of three years following certification, in
case any issues arise. You must make these records available to
us on request, and also to the relevant regulatory authorities if
they ask to see them, whether directly to you or indirectly via us
d) It will affect your Centre Monitoring Rating if you do not comply
with these requirements for auditable records, and cannot
substantiate claims made on behalf of learners.
This section is also referenced within Section 6 of the Centre
Approval Form (CAP)
Our quality assurance requirements
15
6
Monitoring and evaluation
We use a range of monitoring and evaluation activities to:
 evaluate and monitor the quality, consistency and integrity of all
our centres
 check that each centre continues to meet our requirements.
a) You must:
 monitor and maintain the quality, consistency and integrity
of assessment practice and decisions within your centre and
between satellite sites
 ensure a standardised approach to quality assurance
practice, under a single quality assurance system that is
documented
 systematically review the system regularly, and act on the
findings of those reviews and
 take all reasonable steps to protect the interest of the
learner(s), in case of withdrawal of qualification and/or centre
approval
b) You must provide us and any relevant regulator with access to
premises, people and records relating to learner assessment,
achievement and internal quality assurance. If you do not, we
will suspend your right to register learners and claim
certification until you do.
c) You must inform us of any changes to the details on your initial
approval application, including your:
 centre’s name and address
 centre contact, and their contact details
 staffing resources, including directors and senior
management
 physical resources
 satellite sites
 assessment sites
We reserve the right to terminate centre approval and request a
new centre approval application should there be a change to
control in the centre.
If you do not, we will suspend your right to register learners and
claim certification.
While we recognise that all centres share our commitment to
consistent and universal quality, we shall increase your Centre
Monitoring Rating in any situations of non-compliance.
d) If our monitoring and evaluation show that you are not meeting
the quality assurance requirements set out in this document, we
will:
 take what we deem to be the appropriate action
16
Our quality assurance requirements

set a deadline for you to conform to the requirements.
e) If we find that you have made any inaccurate or deliberately
misleading statements and/or submissions during the centre
approval process or qualification approval process, or at any
time in the assessment process, we will take the action we deem
to be appropriate.
f) If you do not implement the remedial actions we specify and we
withdraw centre and/or qualification approval, we shall inform
the relevant regulatory authorities.
This section is also referenced within Section 6 of the Centre
Approval Form (CAP).
This section is also referenced within Section 4 of the Qualification
Approval Form (QAP).
Our quality assurance requirements
17
7
Issuing certificates
You must have a system in place that ensures that all your
certification claims are:
 valid
 signed off by an appropriate person.
Certificates can only be claimed on completion by the learner of a
unit/qualification (as appropriate). Centre staff should be aware
that any certificate claims made prior to the learner completing will
result in a medium centre monitoring rating (or a high centre
monitoring rating should the centre already be on medium rating).
Under no circumstances can certificates be ‘held’ at centres
awaiting learner completion.
a) Specifically, all claims for certification must be authenticated by
an appropriate occupationally qualified Internal Quality Assurer.
We do not accept certification claims without this. Where the
centre does not have direct claim status for the qualification, the
signature of the EQA must be obtained before claiming
certification.
If you do not have someone suitably qualified, contact your local
office and they will advise you about what to do.
b) If you claim any certificates in error you must:
 notify us straightaway
 comply with the action that we specify.
This section is also referenced within Section 6, question 6.1 of the
Centre Approval Form (CAP)
18
Our quality assurance requirements
8
Assessments in a language other than
English, Welsh or Irish (Gaeilge)
We must provide:
 in England, qualification specifications and assessment materials
that are expressed in English
 in Wales, qualification specifications that are expressed in Welsh
or English, or in Welsh and English; specifications must state
explicitly in which language(s) assessment is available
 in Northern Ireland, qualification specifications that are
expressed in English, and assessment materials that are
expressed either in English, or in English and Irish/ Gaeilge
We may allow assessment in a language other than English, Welsh
or Irish (Gaeilge) provided that:
 the assessment is comparable to that offered in English, Welsh
or Irish (Gaeilge)
 in qualifications designed for the workplace, lack of proficiency
in English, Welsh or Irish (Gaeilge) does not prevent the learner
from properly carrying out the role that is supported by the
qualification
We realise that learners may ask to take assessments in their own
language. In the UK, where assessments are carried out in a
language other than English, Welsh or Irish (Gaeilge) you must
provide clear evidence that the learner is also competent in English,
Welsh or Irish (Gaeilge) to the required standard.
Our quality assurance requirements
19
9
Assessment methodology
We are committed to ensuring that our qualifications retain value
and credibility. The key to this is valid and reliable assessment, and
effective internal quality assurance plays a vitally important role in
achieving and maintaining the right quality of assessment practice.
For that reason we require you to adopt and implement this section
across all qualifications, not only those that are competence-based.
In those cases where it is not a competence- based qualification the
Tutor often assumes the role of the Assessor, with the Qualification
Co-ordinator or Manager providing the internal quality assurance.
The criteria are very detailed, and rather than set them all out here,
we have included them in the appendices.
Appendix 1 sets out the assessment criteria.
Appendix 2 details our internal quality assurance criteria.
This section is also referenced within Section 6, questions 6.1-6.6 of
the Centre Approval Form (CAP)
This section is also referenced within Section 2 & 4 of the
Qualification Approval Form (QAP)
20
Our quality assurance requirements
10
Dealing with malpractice and
maladministration
We are committed to providing high quality qualifications which are
assessed and awarded consistently, accurately and fairly.
To this end we require everyone involved in the implementation,
assessment and internal quality assurance of our qualifications to
demonstrate honesty and integrity.
You must report any malpractice or maladministration suspected
after learner registration. Failure to do so may affect your Centre
Monitoring Rating.
Centres are required to provide City & Guilds with access to all
information and data that they determine necessary in order to
resolve an allegation of assessment malpractice. The information
provided should include, but is not limited to, the following:
 a detailed account of the circumstances of the alleged
malpractice and of the investigation carried out by the centre
 written statement(s) from the Assessor(s), Internal Quality
Assurer(s), invigilator(s) or any other staff involved.
 written statements from any candidates who are involved.
 any work of the candidate(s) involved and any associated
material, if relevant
 any mitigating factors.
If we suspect malpractice or maladministration in a centre – or a
partner organisation involved in administering or assessing the
qualification – we may:
 immediately suspend the centre from making claims for
certification
 investigate whether the safeguards at the centre are up to the
standard required to guarantee valid claims.
For more information, please refer to the City & Guilds document,
Managing Cases of Suspected Malpractice/Maladministration
by Centres and Learners.
Our quality assurance requirements
21
11
Post-approval monitoring criteria
We have developed post-approval centre monitoring criteria
mapped to the NVQ Code of Practice (2006), Regulatory
Arrangements for the Qualifications and Credit Framework (2008),
General Conditions of Recognition (May 2011) and SQA
Awarding Body Criteria (2007).
This table details the initial centre approval criteria and ongoing
centre monitoring criteria, and the implications of not achieving
them. The numbers and letters against a criterion refer to the
relevant sections of this document, Our Quality Assurance
Requirements.
Centre monitoring criteria and ratings for City &
Guilds centres
Centre
Monitoring
Rating
(CMR)
L – Low
Allow
registration and
certification
Previous
sanction tariff:
00 & 01
Managemen No arrangements
in place to
t systems
register learners
within 12 weeks
(4c)
No arrangements
in place to obtain
ULN/SCN and
learner record if
required to do so
(4d)
No
documentation of
partnership
arrangements
(4h)
Failure to update
the City & Guilds
with changes to
initial centre
approval
application on
management
systems (6c)
22
Our quality assurance requirements
M – Medium
Allow
registration and
suspend
certification
Previous
sanction tariff:
02
No single named
centre contact
(4a)
Failure to keep
records of
management
systems (5b)
H – High
Suspend
registration and
certification
Previous
sanction tariff:
3A & 3B
No management
systems, to
support the
assessment of
qualifications (4c)
Centre monitoring criteria and ratings for City &
Guilds centres
Centre
Monitoring
Rating
(CMR)
Resources
Learner
support
L – Low
Allow
registration and
certification
Previous
sanction tariff:
00 & 01
No arrangements
in place for
recognition of
prior learning
(RPL) (4g)
Failure to update
the City & Guilds
on changes to
initial centre
approval on
resources (6c)
M – Medium
Allow
registration and
suspend
certification
Previous
sanction tariff:
02
No evidence of
Assessor / Internal
Quality Assurer
development
(9 & Appendix 1b)
H – High
Suspend
registration and
certification
Previous
sanction tariff:
3A & 3B
No staff and/or
resources, to
support the
assessment of
qualifications (5c)
No competent
Assessor/Internal
Quality Assurer(s)
or Assessor/
Internal Quality
Assurer(s) do not
have the
competency &
experience to
perform their role
(9 & Appendices
1b, 2c, 2e)
No arrangements
in place to obtain
ULN/SCN and
learner record if
required to do so
(4d)
No arrangements
in place to access
the learners’
previous
achievement with
learner consent
(4e)
No arrangements
in place for
Recognition of
Prior Learning
(RPL) (4g)
Our quality assurance requirements
23
Centre monitoring criteria and ratings for City &
Guilds centres
Centre
Monitoring
Rating
(CMR)
L – Low
Allow
registration and
certification
Previous
sanction tariff:
00 & 01
Assessment
24
Our quality assurance requirements
M – Medium
Allow
registration and
suspend
certification
Previous
sanction tariff:
02
No arrangements
in place to hold
and transmit
securely details of
assessment
outcomes (4b)
No administrative
system to track
and record learner
progress (5b/4f)
Assessment
carried out in
language other
than English,
Welsh or Gaeilge
(8)
Centre do not
comply with
assessment
recording
requirements
(9 & Appendix 1c)
No countersigning
of unqualified
Assessor/
Internal Quality
Assurer work (9 &
Appendices 1d
and 2d)
Assessment
arrangements do
not comply with
assessment
specification (9 &
Appendix 1g)
H – High
Suspend
registration and
certification
Previous
sanction tariff:
3A & 3B
No established
and maintained
internal quality
assurance system
(5a)
Adequate records
not kept (5b)
No authentication
of certification
claims by Internal
Quality Assurer
(7a)
Appointed
Assessor/
Internal Quality
Assurer does not
act in a
responsible and
accountable
manner
(9 & Appendices
1a & 2b)
Ineffective internal
assessment
process and
practices (5b) and
(9 & Appendix 1h)
No explicit
internal quality
assurance
procedures
(9 & Appendix 2a)
No written
declaration of
authenticity for
learner evidence
(9 & Appendix 1e)
Centre monitoring criteria and ratings for City &
Guilds centres
Centre
Monitoring
Rating
(CMR)
L – Low
Allow
registration and
certification
Previous
sanction tariff:
00 & 01
Quality
assurance
Our quality assurance requirements
M – Medium
Allow
registration and
suspend
certification
Previous
sanction tariff:
02
No quality
monitoring and/or
consistency of
practice within
centre and across
sites (6a)
Previous set
actions not met
(6f)
No notification of
certificates
claimed in error
(7b)
Insufficient
evidence to
demonstrate
effectiveness of
internal quality
assurance
procedures
(9 & Appendix 2g)
H – High
Suspend
registration and
certification
Previous
sanction tariff:
3A & 3B
No access
provided to the
City & Guilds
Group to
premises, people
and records (4i) &
(6b)
Certificates
claimed prior to
completion (7)
Failure to adhere
to this document
(6d)
Deliberately
providing
inaccurate
statements in
information and
submissions (6e)
Previous set
actions not met
(6f)
Failure to report
malpractice, and
cooperate with
any subsequent
investigation (10)
No declaration of
previous
withdrawal of
centre/qualificatio
n approval (4j)
25
Centre monitoring criteria and ratings for City &
Guilds centres
Centre
Monitoring
Rating
(CMR)
L – Low
Allow
registration and
certification
Previous
sanction tariff:
00 & 01
Records
Continuous
improveme
nt
26
No appropriate
training, support
or development
opportunities for
Assessor/Internal
Quality Assurer(s)
(9 & Appendices
1f, 2b, 2c, 2e)
No evidence of
Internal Quality
Assurer
development
(9 & Appendix 2e)
Our quality assurance requirements
M – Medium
Allow
registration and
suspend
certification
Previous
sanction tariff:
02
Non-compliance
with data
requirements in
section 6 (5d)
Centre do not
comply with
assessment
recording
requirements (5c)
H – High
Suspend
registration and
certification
Previous
sanction tariff:
3A & 3B
No established
and maintained or
auditable internal
quality assurance
system (5a)
Adequate records
not kept (5b)
Records are not
retained for three
years (5c)
Non compliance
with data
requirements in
section 6 (5d)
Centre monitoring criteria and ratings for City &
Guilds centres
Centre
Monitoring
Rating
(CMR)
Impact of
Centre
Monitoring
Rating
(CMR)
L – Low
Allow
registration and
certification
Previous
sanction tariff:
00 & 01
The CMR is likely
to cause minimal
concern and
would not:
 threaten the
integrity,
credibility and
validity of the
qualification
 have an
adverse
impact on the
learner.
Any issues
identified, could
be easily
corrected without
further
consequence.
M – Medium
Allow
registration and
suspend
certification
Previous
sanction tariff:
02
The CMR could
potentially
damage the
integrity,
credibility and
validity of the
qualification
and/or be
detrimental to the
learner
H – High
Suspend
registration and
certification
Previous
sanction tariff:
3A & 3B
The CMR could
have a high
impact on the
integrity,
credibility and
validity of the
qualification or
the effective
operation of a
centre as a whole,
if corrective action
is not taken
quickly
If you fail to meet a Consultant’s action plan, your Centre
Monitoring Rating will move up to the next level. If your centre is
currently on a High Centre Monitoring Rating and fails to meet the
requirements of an action plan within timescales specified by City &
Guild then this will lead to the withdrawal of qualification and/or
centre approval.
If you temporarily rectify non-compliances in response to action
plans, but then display the same weaknesses again at a later date,
we take your track record into account when considering whether
to apply a higher monitoring rating.
The monitoring ratings represent a minimum response to identified
non-compliances, but there are circumstances in which we may
judge that a higher level of monitoring is justified.
Where there are significant faults in the management of either a
qualification or the centre as a whole, we reserve the right to
withdraw qualifications and/or centre approval in accordance with
the Supporting Customer Excellence Centre Manual. Examples of
such faults include:
 failing to adhere to this document
Our quality assurance requirements
27
not completing actions while on a high monitoring rating
malpractice, including inaccurate submissions/statements
inappropriate use of our brand.
We also take into consideration any sanctions applied by another
Awarding Organisation, and reserve the right to withhold or
withdraw qualification and/or centre approval.



28
Our quality assurance requirements
Appendix 1
Assessment criteria
a) You must appoint Assessors to carry out centre assessment,
and those Assessors are responsible and accountable for:
1. managing the assessment system, from assessment
planning, negotiating assessment planning to recording
assessment decisions against S/NVQs/VQs/QCF qualifications
2. managing the compilation of schemes of work, planning
tutoring of practical knowledge, carrying out teaching and
assignment planning, and practical assessments against
vocational qualifications
3. assessing evidence of learner competence against the
National Occupational Standards / Qualification Handbook
for the qualification
4. ensuring that learners’ evidence is valid, authentic and
sufficient
5. maintaining accurate and verifiable learner assessment and
achievement records in line with our requirements
6. ensuring that learners are assessed only after they have
been registered with us, if registration is required for the
qualification.
b) You must ensure that Assessors are competent to perform their
role, and provide appropriate training and development
opportunities to ensure that they meet the required standards
set out in the National Occupational Standards/Qualification
Handbook.
c) You must know and comply with our requirements for recording
assessment decisions and maintaining assessment records, and
must be familiar with all relevant policy and guidance
documentation.
d) You must ensure that the assessment decisions of unqualified
Assessors are checked, authenticated and countersigned by an
Assessor or Internal Quality Assurer who is appropriately
qualified, as specified in the relevant assessment strategy. The
Internal Quality Assurer is responsible and accountable for
arranging the countersigning process, and must sample an
appropriate proportion of assessment decisions by unqualified
Assessors. Internal Quality Assurers may only quality assure
evidence that they did not assess, and this should be carried out
before you claim certificates.
e) Assessors and learners must provide a written declaration that
learner evidence is authentic and that assessment took place
under the conditions or context set out in the National
Occupational Standards/Qualification Handbook. Failure to do
this constitutes grounds for the suspension or withdrawal of
approval for the qualification in question
Our quality assurance requirements
29
f) You must provide appropriate training, support and/or
development opportunities to enable Assessors to meet their
responsibilities. You must also allow them sufficient time to fulfil
their duties, and keep records of all staff development as this
will be monitored by the allocated Consultant(s).
g) Your internal assessment process and practices must be
effective, and support the integrity and consistency of National
Occupational Standards in the qualification. This is achieved
through your own internal quality assurance, and the external
quality assurance that we undertake.
h) We will ensure that assessment arrangements at centres comply
with those detailed in the National Occupational
Standards/Qualification Handbook.
This section is also referenced within Section 6, questions 6.1-6.6 of
the Centre Approval Form (CAP)
This section is also referenced within Section 2, question 2.2 of the
Qualification Approval Form (QAP)
30
Our quality assurance requirements
Appendix 2
Internal quality assurance
criteria
a) You must operate and maintain explicit, written internal quality
assurance procedures to ensure:
1. the accuracy and consistency of assessment decisions
between Assessors operating at the centre
2. that Assessors are consistent in their interpretation and
application of the National Occupational Standards/
Qualification Handbook.
b) You must appoint Internal Quality Assurers who are responsible
for:
1. regularly planning sampling activities, and sampling
(throughout and before certification) the evidence of
assessment decisions made by all Assessors across all
assessment methods, including observation of practice
against competence based qualifications
2. regularly sampling and being present at practicals, grading
of learners’ work, and carrying out moderation of grading
decisions
3. maintaining up-to-date records of internal quality assurance
and sampling activity, and ensuring that these are available
for external quality assurance activities
4. establishing procedures to ensure that there is
standardisation between Assessors
5. monitoring and supporting the work of Assessors
6. facilitating appropriate staff development and training for
Assessors
7. providing feedback to the allocated Assessors and
Consultant(s) on the effectiveness of assessment
8. ensuring that any action that we require is carried out, within
agreed timescales.
c) You must ensure that Internal Quality Assurers are competent to
perform their role, and have sufficient time to fulfil their duties.
You must provide appropriate training; support and/or
development opportunities to ensure that Internal Quality
Assurers meet the required standards set out in the National
Occupational Standards/Qualification Handbook, and you must
keep auditable records for checking by the Consultant.
d) You must ensure that the decisions of unqualified Internal
Quality Assurers are checked, authenticated and countersigned
by an Internal Quality Assurer who is appropriately qualified, as
specified in the relevant assessment strategy.
e) You must provide evidence of your Internal Quality Assurers’
development activities and qualifications
Our quality assurance requirements
31
f) Internal Quality Assurers may carry out assessment at the
centre, but only if they have the qualifications and occupational
expertise specified for Assessors by the relevant sector body.
Internal Quality Assurers may only quality assure evidence they
did not assess.
g) As we monitor a centre’s internal quality assurance process
through our external quality assurance activities, you must
provide evidence demonstrating the effectiveness of such
internal quality assurance procedures. Failure to do so puts the
integrity of assessment decisions at the centre at risk, and in
that situation we will impose the appropriate Centre Monitoring
Rating (for ILM your Centre Support Status).
This section is also referenced within Section 6, questions 6.1-6.6 of
the Centre Approval Form (CAP)
This section is also referenced within Section 2, question 2.2 of the
Qualification Approval Form (QAP)
.
32
Our quality assurance requirements
Useful contacts
Centres
Exam entries, Certificates,
Registrations/enrolment, Invoices,
Missing or late exam materials,
Nominal roll reports, Results
T: +44 (0)844 543 0000
F: +44 (0)20 7294 2413
E:
centresupport@cityandguilds.com
Single subject qualifications
Exam entries, Results, Certification,
Missing or late exam materials,
Incorrect exam papers, Forms
request (BB, results entry), Exam
date and time change
T: +44 (0)844 543 0000
F: +44 (0)20 7294 2413
F: +44 (0)20 7294 2404 (BB forms)
E:
singlesubjects@cityandguilds.com
International queries
General qualification information,
Centres, Single subject
qualifications, Employer,
Publications, Results, Entries,
Enrolments, Invoices, Missing or late
exam material
Please use the link then click on the
relevant office for their contact details
http://www.cityandguilds.com/Abo
ut-Us/International
Walled Garden
Re-issue of password or username,
Technical problems, Entries,
Results, e-volve, Navigation,
User/menu option, Problems
T: +44 (0)844 543 0000
F: +44 (0)20 7294 2413
E:
walledgarden@cityandguilds.com
Employer
Employer solutions, Mapping,
Accreditation, Development Skills,
Consultancy
T: +44 (0)121 503 8993
E:
business_unit@cityandguilds.com
Publications
Logbooks, Centre documents,
Forms, Free literature
T: +44 (0)844 543 0000
F: +44 (0)20 7294 2413
Every effort has been made to ensure that the information contained in this
publication is true and correct at the time of going to press. However, City &
Guilds products and services are subject to continuous development and
improvement and the right is reserved to change products and services from
time to time. City & Guilds cannot accept liability for loss or damage arising
from the use of information in this publication.
If you have a complaint, or any suggestions for improvement about any of
the services that City & Guilds provide, email: feedback@cityandguilds.com
About City & Guilds
City & Guilds is the UK’s leading provider of
vocational qualifications, offering over 500 awards
across a wide range of industries, and progressing
from entry level to the highest levels of
professional achievement. With over 8500 centres
in 100 countries, City & Guilds is recognised by
employers worldwide for providing qualifications
that offer proof of the skills they need to get the job
done.
Copyright
The content of this document is, unless otherwise
indicated, © The City and Guilds of London Institute
and may not be copied, reproduced or distributed
without prior written consent. However, approved
City & Guilds centres and learners studying for City
& Guilds qualifications may photocopy this
document free of charge and/or include a PDF
version of it on centre intranets on the following
conditions:
 centre staff may copy the material only for the
purpose of teaching learners working towards a
City & Guilds qualification, or for internal
administration purposes
 learners may copy the material only for their
own use when working towards a City & Guilds
qualification
The Standard Copying Conditions (see the City &
Guilds website) also apply.
Please note: National Occupational Standards are
not © The City and Guilds of London Institute.
Please check the conditions upon which they may
be copied with the relevant Sector Skills Council.
Published by City & Guilds, a registered charity
established to promote education and training
City & Guilds
1 Giltspur Street
London EC1A 9DD
T +44 (0)844 543 0000
F +44 (0)20 7294 2413
www.cityandguilds.com